Agenda

Compliance Workshops

2020 Compliance Workshops Agenda

Times listed are Eastern Time Zone
12:30pm to 4:30pm ET - December 2, 2020
12:30pm to 4:00pm ET - December 3, 2020

Wednesday, December 2, 12:30pm-4:30pm ET (LIVE)

12:30 - 12:50pm

Welcome, Regulatory and Legislative Update: General Session 

IAA staff will provide the latest updates on SEC and other key regulatory and legislative developments from Washington, DC. 

  • Gail Bernstein, General Counsel, IAA
  • Neil Simon, Vice President, Government Relations, IAA

12:50 - 1:50pm 

Hot Topics and Implementation Challenges for Advisers: General Session

Learn about new and upcoming regulatory requirements and implementation challenges for advisers, including changes to the Advertising Rule, the Solicitation Rule, proxy voting, Form CRS, examinations, and other hot topics. Hear insights into where the SEC is focusing its resources so firms can analyze their risk profiles in light of new and impending changes. Take away best practices to implement and identify pitfalls to avoid. 

  • Michael McGrath, Partner, K&L Gates LLP
  • Kevin Ehrlich, Manager, U.S. Regulatory Affairs & CCO, Western Asset Management Company
  • Cathy Vasilev, Founding Member, Chief Operating Officer, Red Oak Compliance Solutions
  • Sanjay Lamba, Associate General Counsel, IAA, MODERATOR

 

1:50 - 2:00pm 

Break

2:00 - 2:45pm 

Securities and Exchange Commission Regional Offices: Concurrent Breakout Sessions

Hear directly from senior staff in your SEC Regional Office discuss current SEC examination priorities for advisers. These panels on each day will include SEC Regional Office speakers in three different breakout sessions.

Breakout 1 – SEC Atlanta Regional Office

  • Samara V. Ross, Associate Regional Director (Office of Compliance, Inspections, and Examinations) and John P. Sweeney, Strategic Risk Coordinator

 

Breakout 2 – SEC Boston Regional Office 

  • Paul Levenson, Regional Director, Kevin Kelcourse, Associate Regional Director (Examinations), Mayeti Gametchu, Assistant Director, and Elizabeth Ward, Examinations Manager

 

Breakout 3 – SEC San Francisco Regional Office

  • Erin Schneider, Regional Director, and Kristin Snyder, Deputy Director of OCIE and Associate Regional Director (Examinations)

2:45 - 3:00pm

Break

3:00 - 3:45pm

Securities and Exchange Commission Regional Offices: Concurrent Breakout Sessions

Breakout 1 – SEC Chicago Regional Office

  • Louis A. Gracia, Associate Regional Director (Examinations)

 

Breakout 2 – SEC Denver Regional Office 

  • Kurt Gottschall, Regional Director

 

Breakout 3 – SEC Philadelphia Regional Office

  • Kelly L. Gibson, Regional Director

3:50 - 4:05pm

Key Takeaways from SEC Sessions: General Session

  • Monique Botkin, Associate General Counsel, IAA
  • Sarah Buescher, Associate General Counsel, IAA
  • Paul Glenn, Special Counsel, IAA

4:05 - 4:30pm

Virtual Meet and Greet

Thursday, December 3, 12:30pm-4:00pm ET (LIVE)

12:30 - 1:30pm

Ask the Experts: Concurrent Breakout Sessions

Panelists will discuss the risks and operational issues facing advisory firms related to the COVID-19 pandemic, including supervision, maintaining robust compliance programs, cybersecurity, third-party vendor oversight, data management, and other topics that attendees would like to raise. Send your questions in advance to iaalegalteam@investmentadviser.org.

 

Breakout 1 – Ask the Experts – Smaller Firms Up to $10 Billion RAUM

  • Michelle L. Jacko, Managing Partner and CEO, Jacko Law Group
  • Ivy Wafford Duke, Chief Compliance Officer, National Real Estate Advisors, LLC
  • Laura Grossman, Associate General Counsel, IAA, MODERATOR

 

Breakout 2 – Ask the Experts – Larger Firms Over $10 Billion RAUM

  • Mark Perlow, Partner, Dechert LLP
  • Rob Saperstein, Senior Managing Director, Guggenheim Partners, LLC
  • Sarah Buescher, Associate General Counsel, IAA, MODERATOR

1:30 - 1:45pm

Break

1:45 - 2:30pm

Securities and Exchange Commission Regional Offices: Concurrent Breakout Sessions

Breakout 1 – SEC Fort Worth Regional Office

  • David Peavler, Regional Director

 

Breakout 2 – SEC New York Regional Office 

  • Richard Best, Regional Director

 

Breakout 3 – SEC Los Angeles Regional Office 

  • Bryan Bennett, Associate Regional Director (Examinations)

2:30-2:45pm

Break

2:45-3:00pm

Key Takeaways from SEC Sessions: General Session

  • Gail Bernstein, General Counsel, IAA
  • Valerie Mirko, Partner, Baker McKenzie LLP
  • Linda Shirkey, Managing Director, Bates Compliance
  • Tracy Soehle, Senior Vice President, Senior Counsel, Affiliated Managers Group, Inc.

3:00-4:00pm

Fiduciary Obligations for Identifying, Managing, and Disclosing Conflicts of Interest: General Session

Learn how advisers identify, manage, and disclose conflicts of interest and periodically assess these processes. This panel will discuss the SEC’s actions in this area, including its fiduciary duty interpretation and recent enforcement actions.

  • Valerie Mirko, Partner, Baker McKenzie LLP
  • Linda Shirkey, Managing Director, Bates Compliance
  • Tracy Soehle, Senior Vice President, Senior Counsel, Affiliated Managers Group, Inc.
  • Gail Bernstein, General Counsel, IAA, MODERATOR 

4:00pm

End of program